Compliance Examiner

San Diego, CA - USA

Monthly Salary: $ 80000 - 108000

Posted on: Yesterday

Vacancies: 1 Vacancy

Job Summary

Position: Compliance Examiner

Reporting to: Compliance Manager

Location: Open to remote/hybrid (close access to airport for travel)

Overview:

We are seeking a highly motivated individual to join our team as a Compliance Examiner. As part of Madison Avenue Securities Compliance team this individual is responsible for conducting branch audits of registered representatives/investment advisor representatives all over the country. The Examiner will be responsible for conducting thorough audit reviews identify any compliance issues and work through the remediation process.

What youll do:

Lead full cycle (remote and onsite) examinations to identify deficiencies in compliance processes and procedures.
Create comprehensive examination reports and clearly communicate findings; provide solution-based feedback on any compliance issues found.
Regular communication with advisors and office staff for audit prep records/document maintenance required reporting submissions and prompt response to various compliance needs.
Collaborate with Marketing and Operational teams to identify and resolve various compliance issues.
Stay up to date on new and existing regulatory requirements.

Experience youll bring:

At least 5 years of financial service Industry experience
Experience in supervision compliance and/or regulatory management
Series 7 required 24 preferred or required to obtain upon hire
Confident professional and articulate in written and verbal communication; experience conducting meetings and presentations
Strong organizational skills: capacity to manage heavy workload while navigating a variety of competing ever-changing priorities
Detail-orientated; able to work with high degree of accuracy in a fast-paced environment
Ability to travel (30% - 50%)

Bonus Points:

Experience conducting exams or audits
Knowledge of SEC/FINRA and various state rules and regulations
Additional Industry exams: Series 66 (or 63/65)
Experience with technical supervisory systems (Orion ProSurv Smarsh and RegEd)

What youll get:

Salary range $80000-$108000 based on experience and skill level
Benefits including medical dental vision and 401k (with matching options)
Generous paid time off package upon your start date

Who We Are:

Madison Avenue Securities is an independent broker-dealer and registered investment advisor that supports independent financial advisors with a full suite of investment products and services along with high-touch highly responsive practice support and an easy-to-do-business-with culture.

Madison Avenue Securities is an Equal Employment Opportunity Employer. Everyone is welcome here as an inclusive workplace our employees are always comfortable bringing their true selves to our offices daily.

Presented by Advisor Talent Solutions

Advisor Talent Solutions part of the AE Management LLC family of companies supports independent advisor businesses with their hiring needs. We are not the employer for this position. If you are selected your employer will be the hiring business. Our team is your main point of contact initially and will guide you through the application process.

Learn more about our approach and services at

Position: Compliance ExaminerReporting to: Compliance ManagerLocation: Open to remote/hybrid (close access to airport for travel)Overview: We are seeking a highly motivated individual to join our team as a Compliance Examiner. As part of Madison Avenue Securities Compliance team this individual is r...